Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Morlote is a financial advisor in Miami, Florida, and is currently registered with Citigroup Global Markets Inc. Carlos has been a Registered Representative for 15 years and is licensed in 24 states. Carlos has over 13 years of experience in the industry. He is a Series 7, 6, 63, 65, 9 and 10 licensed representative and has completed the SIE and Operations Professional examinations. Carlos offers various advisory services including portfolio management for businesses, individuals, and investment companies, financial planning, and security ratings.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
FL
10/21/2021 - Present
Citigroup Global Markets Inc. (Miami FL)
FL
11/14/2018 - 02/19/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
08/29/2017 - 11/28/2018
CITIGROUP GLOBAL MARKETS INC. (Miami FL)
FL
02/03/2017 - 08/23/2017
CETERA INVESTMENT SERVICES LLC (MIAMI FL)
FL
01/13/2014 - 01/31/2017
BB&T INVESTMENT SERVICES, INC. (MIAMI FL)
FL
02/01/2013 - 01/15/2014
PRINCOR FINANCIAL SERVICES CORPORATION (CORAL GABLES FL)
FL
09/19/2012 - 02/01/2013
PFS INVESTMENTS INC. (MIAMI LAKES FL)
FL
02/04/2010 - 03/08/2011
CHASE INVESTMENT SERVICES CORP. (MIAMI FL)
FL
01/18/2008 - 01/15/2009
WACHOVIA SECURITIES, LLC (MIAMI FL)
FL
11/23/2005 - 07/16/2007
WM FINANCIAL SERVICES, INC. (MIAMI FL)
IA
Issued 12/26/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/26/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/22/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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